Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Roetenberger is a financial advisor at Raymond James & Associates, Inc. with over 30 years of experience in the industry. James has held registrations in a number of states, including Ohio, Texas, Florida, Illinois, Indiana, Kentucky, Maryland, Michigan, Minnesota, Nevada, New York, Oklahoma, Tennessee, and Washington. James has a wide range of experience and expertise in the financial services industry, including financial planning, portfolio management, and educational seminars. James is also a trustee for the Nicholas Roetenberger Trust.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
11/09/2021 - Present
Raymond James & Associates, Inc. (CINCINNATI OH)
OH
10/16/1989 - 01/29/2008
UBS FINANCIAL SERVICES INC. (CINCINNATI OH)
NY
07/22/1982 - 10/26/1989
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
07/08/1974 - 08/05/1982
THOMSON MCKINNON SECURITIES INC.
NA
11/24/1959 - 08/19/1975
W. E. HUTTON & CO.
IA
Issued 01/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/06/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 04/04/1978
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1977
PC - AMEX Put and Call Exam
BC
Issued 11/24/1959
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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